AVP, Suitability & Risk Leadership

National Life Group; United States; Remote; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical benefits

401(k) plan

Paid time off

Parental leave

Job summary

National Life Group seeks a senior leader to guide ESI Suitability Review, ensuring strict adherence to Written Supervisory Procedures and regulatory expectations.

You will build and coach a high-performing team, partner across Distribution, Compliance, Legal, and Technology to manage risk, and drive root-cause analysis for complex decisions. This role requires 10+ years in Suitability/Broker-Dealer Ops and 5+ years of leadership, with strong interpersonal skills.

Qualifications

• 10+ years in Suitability/Broker-Dealer Operations with active Series 7, 24, 53.
• 5+ years leadership experience with strong interpersonal skills.

Responsibilities

• Lead ESI Suitability Review and ensure compliance with Written Supervisory Procedures.
• Build an engaged team and coach complex decisions toward root cause analysis.
• Partner with Distribution, Compliance, Legal, and Technology to manage risk.

Skills

Leadership

Risk management

Communication

Job description

National Life Group seeks a senior leader to guide ESI Suitability Review, ensuring strict adherence to Written Supervisory Procedures and regulatory expectations.

You will build and coach a high-performing team, partner across Distribution, Compliance, Legal, and Technology to manage risk, and drive root-cause analysis for complex decisions. This role requires 10+ years in Suitability/Broker-Dealer Ops and 5+ years of leadership, with strong interpersonal skills.